Corporations Regulations 2001

CHAPTER 7 - FINANCIAL SERVICES AND MARKETS  

PART 7.6 - LICENSING OF PROVIDERS OF FINANCIAL SERVICES  

REGULATION 7.6.05   REGISTER OF FINANCIAL SERVICES LICENSEES AND REGISTER OF AUTHORISED REPRESENTATIVES OF FINANCIAL SERVICES LICENSEES  

7.6.05(1)   [ Register of financial services licensees]  

For subsection 922A(2) of the Act, ASIC must include the following details for each financial services licensee in the register of financial service licensees:

(a) the financial services licensee's name (including the financial services licensee's principal business name, if any);

(b) the principal business address of the financial services licensee;

(c) the date on which the financial services licensee's licence was granted;

(d) the number of the financial services licence of the financial services licensee;

(e) if the financial services licensee has an ABN - the ABN;

(f) details of any conditions on the financial services licensee's licence, including details of the financial service, or class of financial services, that the financial services licensee is authorised to provide;

(g) any other information that ASIC believes should be included in the register.

7.6.05(2)   [ Register of authorised representatives of financial services licensees]  

For subsection 922A(2) of the Act, ASIC must include the following details for each authorised representative of a financial services licensee in the register of authorised representatives of financial services licensees:

(a) the authorised representative's name (including the authorised representative's principal business name, if any);

(b) the authorised representative's principal business address;

(c) if the authorised representative is a body corporate - the name of each director and secretary;

(d) the number allocated to the authorised representative by ASIC;

(e) the name of each financial services licensee for which the authorised representative is an authorised representative;

(f) the number of the financial services licence of each financial services licensee for which the authorised representative is an authorised representative;

(g) if the authorised representative has an ABN - the ABN;

(h) the date of the authorised person's authorisation, and any other information about the authorisation that ASIC believes should be included in the register;

(i) any other information that ASIC believes should be included in the register.